News, analysis, and guidance across GRC, risk, audit, and regulatory compliance.
Issue & Incident RemediationThis checklist ensures compliance programs trace findings from detection to accountable decisions and verified corrective actions, preventing costly regulatory penalties.
Regulatory Obligations ManagementESMA's new PTRR rules under EMIR 3 redefine clearing obligation exemptions for derivatives. This guide outlines steps to align risk management and compliance.
Regulatory Obligations ManagementThe US Treasury Department recently imposed $1.21 billion in penalties on Bank of America for anti-money laundering (AML) lapses and alleged sanctions violations. The Financial Crimes Enforcement Netw
Third-Party Risk ManagementThe Question at Hand Risk managers at banks face a timing dilemma this fall. The OCC , Federal Reserve, FDIC, and NCUA proposed new third-party risk management guidance on September 11, 2026, with com
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Privacy & Data ProtectionThe Challenge Manufacturers and sellers of digital products in the EU now face a strict deadline: report all exploited vulnerabilities and severe security incidents within 24 hours of discovery. This
Regulatory Obligations ManagementWhen the Federal Reserve Board entered into a Written Agreement with a bank holding company on August 14, 2026, the action itself was unremarkable. What matters is the pattern it confirms: holding com
Regulatory Obligations ManagementThe Problem: Why This Matters Now You ve filed a Suspicious Activity Report (SAR). Your customer calls asking why their wire transfer was delayed. Until now, most compliance teams defaulted to silence
Third-Party Risk ManagementThe EU s Corporate Sustainability Due Diligence Directive (CSDDD) hasn t seen its first enforcement case yet, with compliance deadlines set for 2027. However, you can anticipate potential failure mode
Regulatory Obligations ManagementYou re evaluating compliance software for a regional bank with 47 branches. The vendor shows you a dashboard: 94% policy attestation, 312 monitoring reviews completed, 18 open issues. You ask which br
Internal Controls & AuditYour finance team just used an AI agent to draft a revenue recognition memo. Your compliance officer ran a vendor risk assessment through a large language model. Your internal audit director asked Cha
Third-Party Risk ManagementThe Court of Justice of the European Union (CJEU) has issued rulings that fundamentally change how your team must evaluate trust structures in the context of EU sanctions and anti-money laundering (AM
Regulatory Obligations ManagementIf your team clears derivatives through non-EU central counterparties, you ll soon need to formalize your reporting process. ESMA s new framework requires structured annual submissions starting after
Regulatory Obligations ManagementThe Question at Hand Your compliance team is evaluating a transaction monitoring platform. The vendor demo looks polished, the features meet your requirements, and the price is reasonable. But here s
Regulatory Obligations ManagementThe question isn t academic anymore. Between now and March 2026, the Central Bank of Nigeria , Bank of Ghana , and South African Prudential Authority have all issued directives making board-level risk
Regulatory Obligations ManagementYou ve built an AI governance process. Europe has a framework. The U.S. team has a different one. Product teams route requests through both. Six months later, no one can tell you which business units
Regulatory Obligations ManagementThe European Securities and Markets Authority (ESMA) has set 11 October 2027 as the transition date for T+1 settlement in EU financial markets. The first regulatory deadline is 7 December 2026 for all
Ethics & ConductThe EU s anti-corruption directive took effect on May 31, and most compliance teams are getting it wrong. Not because they re ignoring it, they re just repeating the same implementation errors that pl
